Post-effective Amendment to an Automatic Shelf Registration of Form S-3asr or Form F-3asr (posasr)

Date : 05/21/2019 @ 11:06AM
Source : Edgar (US Regulatory)
Stock : Hartford Financial Services Grp. (The) (HIG)
Quote : 57.9  0.24 (0.42%) @ 11:00PM

Post-effective Amendment to an Automatic Shelf Registration of Form S-3asr or Form F-3asr (posasr)

As filed with the Securities and Exchange Commission on May 21, 2019

Registration No. 333-212778

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

POST-EFFECTIVE

AMENDMENT NO. 1

TO

FORM S-3

REGISTRATION STATEMENT

Under

THE SECURITIES ACT OF 1933

 

 

The Hartford Financial Services Group, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   13-3317783

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification Number)

One Hartford Plaza

Hartford, Connecticut 06155

(860) 547-5000

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

 

 

David C. Robinson

Executive Vice President and General Counsel

One Hartford Plaza

Hartford, Connecticut 06155

(860) 547-5000

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

 

With copies to:

 

Craig B. Brod

Cleary Gottlieb Steen & Hamilton LLP

One Liberty Plaza

New York, New York 10006

(212) 225-2000

 

Joseph A. Hall

Davis Polk & Wardwell LLP

450 Lexington Avenue

New York, New York 10017

(212) 450-4000

 

 

Approximate date of commencement of the proposed sale to the public:  Not Applicable

If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box.  ☐

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box.  ☒

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  ☐

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  ☐

If delivery of the prospectus is expected to be made pursuant to Rule 434, please check the following box.  ☐

If this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box.  ☒

If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box.  ☐

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer      Accelerated filer  
Non-accelerated filer      Smaller reporting company  
     Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.  ☐

 

 

REMOVAL OF SECURITIES FROM REGISTRATION

We previously registered for sale, under a Registration Statement on Form S-3, as amended (Registration No. 333-212778) (the “Registration Statement”), (i) senior debt securities of The Hartford Financial Services Group, Inc. (the “Company”) (the “Senior Debt Securities”); (ii) subordinated debt securities of the Company (the “Subordinated Debt Securities”); (iii) junior subordinated debt securities of the Company (the “Junior Subordinated Debt Securities,” and, together with the Senior Debt Securities and the Subordinated Debt Securities, the “Debt Securities”); (iv) shares of the Company’s preferred stock, par value $.01 per share (the “Preferred Stock”); (v) shares of the Company’s common stock, par value $.01 per share (the “Common Stock”); (vi) fractional interests in Debt Securities or Preferred Stock evidenced by depositary receipts (the “Depositary Shares”); (vii) warrants to purchase Debt Securities, Preferred Stock, Common Stock or other types of securities, property or assets as well as other warrants (the “Warrants”); (viii) contracts for the purchase or sale of Preferred Stock, Common Stock or other securities, property or assets (the “Stock Purchase Contracts”); and (ix) stock purchase units representing ownership of Stock Purchase Contracts, Debt Securities (or undivided beneficial interests therein), Depositary Shares or debt obligations of third parties, including United States Treasury securities (the “Stock Purchase Units,” together with the Debt Securities, Preferred Stock, Common Stock, Depositary Shares, Warrants and Stock Purchase Contracts, the “Securities”). By filing this Post-Effective Amendment No. 1 to the Registration Statement, we hereby remove from registration all of the Securities that remain unsold under the Registration Statement as of the date hereof. The Registration Statement is hereby amended, as appropriate, to reflect the removal from registration of such Securities.

 

 

 


EXHIBIT INDEX

 

Exhibit
No.

  

Description

24.01    Power of Attorney of certain officers and directors of The Hartford.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, The Hartford Financial Services Group, Inc. (i) certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-3 and (ii) has duly caused this Registration Statement on Form S-3 to be signed on its behalf by the undersigned, thereunto duly authorized, in Hartford, Connecticut, on this 21st day of May, 2019.

 

T HE H ARTFORD F INANCIAL S ERVICES G ROUP , I NC .
By:   /s/ Donald C. Hunt
  Name:   Donald C. Hunt
  Title:  

Vice President

and Corporate Secretary

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement on Form S-3 has been signed by the following persons in the capacities and on the dates indicated.

 

Signature

  

Title

  

Date

/s/ Christopher J. Swift

Christopher J. Swift

   Chairman and Chief Executive Officer (Principal Executive Officer)    May 21, 2019

/s/ Beth Costello

Beth Costello

  

Executive Vice President and

Chief Financial Officer

(Principal Financial Officer)

   May 21, 2019

/s/ Scott R. Lewis

Scott R. Lewis

  

Senior Vice President and Controller

(Principal Accounting Officer)

   May 21, 2019

*

Robert B. Allardice, III

   Director    May 21, 2019

*

Carlos Dominguez

   Director    May 21, 2019

*

Trevor Fetter

   Director    May 21, 2019

*

Kathryn Mikells

   Director    May 21, 2019

*

Michael G. Morris

   Director    May 21, 2019

*

Julie G. Richardson

   Director    May 21, 2019

*

Teresa W. Roseborough

   Director    May 21, 2019

*

Virginia Ruesterholtz

   Director    May 21, 2019

*

Greig Woodring

   Director    May 21, 2019

 

*By:  

/s/ Donald C. Hunt

 

Donald C. Hunt

As Attorney-in-Fact

 

3

Hartford (NYSE:HIG)
Historical Stock Chart

1 Year : From Jul 2018 to Jul 2019

Click Here for more Hartford Charts.

Hartford (NYSE:HIG)
Intraday Stock Chart

Today : Thursday 18 July 2019

Click Here for more Hartford Charts.

Latest HIG Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.